Remote audit
Remote audit (or remote auditing) is a form of auditing [1] in which Information and Communication Technologies (ICT) are used "to gather information, interview an auditee, etc., when “face-to-face” methods are not possible or desired".[2] Such audits are used as part of financial audits, quality audits, audits for health and safety or environmental management.
Remote auditing has been widely adopted during the COVID-19 pandemic due to travel restrictions. According to the survey of conformity assessment bodies, about 50% of conformity assessment bodies have adopted remote auditing.[3] Prior to the COVID-19 pandemic, remote audits were employed occasionally, mainly in extraordinary circumstances (such inspections of remote areas or in dangerous circumstances).[4] Some research studies debated the use of technologies more broadly yet also acknowledged a limited uptake in the industry prior to the COVID-19 pandemic.[5]
The adoption of remote auditing during the pandemic is discussed in several academic studies. For instance, in the domain of voluntary sustainability standards[6] or in food industry.[7]
Important international documents pertinent to remote auditing
Remote auditing and remote assessment practices are described in a series of documents issued by International Accreditation Forum https://en.wikipedia.org/wiki/International_Accreditation_Forum]. These documents form basis for the operational practices of conformity assessment bodies across the globe.
Title | Issue date | Content |
---|---|---|
IAF Informative Document For
Management of Extraordinary Events or Circumstances Affecting ABs, CABs and Certified Organizations IAF ID 3:2011 |
Issued: 8 November 2011 | 0. Introduction 1. Scope
2. Definition 3. Extraordinary event or circumstance affecting a certified organization 4. Extraordinary event or circumstance affecting the CAB 5. Extraordinary event or circumstance affecting the AB |
IAF Informative Document: Principles on Remote Assessment IAF ID 12:2015 | Issued: 23 December 2015 | 1.. Introduction
2. Scope 3. Definitions 4. Objectives 5. Criteria for Initiating a remote Assessment 6. Planning and Scheduling of Remote Assessments 7. Conducting Remote Assessments 8. Post Assessment Activities |
IAF MANDATORY DOCUMENT FOR THE USE OF INFORMATION AND
COMMUNICATION TECHNOLOGY (ICT) FOR AUDITING/ASSESSMENT PURPOSES IAF MD 4:2018 ISO 9001 Auditing Practices Group Guidance on: REMOTE AUDITS |
Issued: 04 July 2018 Application Date: 04 July 2019
Edition 1 Date: 2020-04-16 |
0. Introduction
1. Scope 2. Normative References 3. Definitions 4. Requirements |
ISO 9001 Auditing Practices Group Guidance on: REMOTE AUDITS | Edition 1 Date: 2020-04-16 | Introduction
Background Information on ISO 19011:2018 and IAF MD4 General Recommnedations for Remote Auditing AUDIT PROGRAM AUDIT PLANNING AUDIT REALIZATION AUDIT CONCLUSION Annex: Example of identification of Risks and Opportunities for using remote audit techniques .... |
References
- ↑ "Audit".
- ↑ ISO19011 ISO 19011:2018 Guidelines for auditing management systems; International Organization for Standardization (ISO): Geneve, 2018.
- ↑ Koch, C.; Asna-Ashari, P.; Blind, K.; Castka, P.; Mirtsch, M., National Quality Infrastructures in the COVID-19 Pandemic: Insights from a Multinational Study on Impacts and Institutional Responses of Conformity Assessment Bodies. . In 10th Annual Eu-SPRI Conference: Science and innovation – an uneasy relationship? Rethinking the roles and relations of STI policies, Oslo, Norway, 2021.
- ↑ IAF, IAF Informative Document For Management of Extraordinary Events or Circumstances Affecting ABs, CABs and Certified Organizations - ID3:2011. In Forum, I. A., Ed. 2011.
- ↑ Gale, Fred; Ascui, Francisco; Lovell, Heather (2017-05-01). "Sensing Reality? New Monitoring Technologies for Global Sustainability Standards". Global Environmental Politics. 17 (2): 65–83. doi:10.1162/GLEP_a_00401. ISSN 1526-3800.
- ↑ Castka, Pavel; Searcy, Cory; Fischer, Sönke (June 10, 2020). "Technology-enhanced Auditing in Voluntary Sustainability Standards: The Impact of COVID-19". Sustainability. 12 (11): 4740. doi:10.3390/su12114740.
- ↑ Castka, P. Z., X.; Bremer, P.; Mirosa, M. and Wood, L. Remote auditing and assessment during the COVID-19 pandemic in New Zealand and China. Learnings from the food industry and guidance for the future. ; A report for New Zealand China Food Protection Network (NZCFPN). Wellington, New Zealand, 2021. https://ir.canterbury.ac.nz/handle/10092/102272
External links
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